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Livermore
Livermore
ZHEN

Equitec Proprietary Markets, LLC

SEC CIK
0001143261
Latest filing
Jul 20, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Oct 12, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
203
−13 vs. Q2 2021
Portfolio value
$188.6M
+$48.1M (+34.2%) vs. Q2 2021
Filed
Oct 12, 2021
SEC
Holdings of Equitec Proprietary Markets, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
STMPStamps.com IncCOM NEW147,594$48.7M25.8%+147,594NewHistory
RILYBRC Group Holdings, Inc.COM705,703$41.7M22.1%+254,448+56.4%AddedHistory
KSUKansas City SouthernCOM NEW63,289$17.1M9.1%+12,489+24.6%AddedHistory
GPREGreen Plains Inc.COM235,795$7.70M4.1%+6,595+2.9%AddedHistory
XLRNAcceleron Pharma IncCOM43,293$7.45M4.0%+43,293NewHistory
DDIDoubleDown Interactive Co., Ltd.ADS315,285$5.55M2.9%+315,285NewHistory
OECOrion S.A.COM270,960$4.94M2.6%+114,482+73.2%AddedHistory
Qad Inc74727D306CL A55,576$4.86M2.6%+55,576New–
Parabellum Acquisition Corp.69901P208UNIT 99/99/9999456,713$4.55M2.4%+456,713New–
SAFMSanderson Farms IncCOM15,600$2.94M1.6%+15,600NewHistory
NUANNuance Communications, Inc.COM52,198$2.87M1.5%−9,718−15.7%ReducedHistory
Coherent Inc192479103COM10,807$2.70M1.4%−21,607−66.7%Reduced–
Paramount Global92556H206CL B67,400$2.66M1.4%+67,400New–
VNEArriver Holdco, Inc.COM74,313$2.53M1.3%+74,313NewHistory
XLNXXilinx IncCOM15,500$2.34M1.2%−2,500−13.9%ReducedHistory
Trillium Therapeutics Inc.89620X506COM NEW126,597$2.22M1.2%+126,597New–
BWBabcock & Wilcox Enterprises, Inc.COM292,043$1.87M1.0%+4,400+1.5%AddedHistory
HRCHill-Rom Holdings, Inc.COM11,500$1.73M0.9%+11,500NewHistory
iShares Russell 2000 ETF464287655ETF7,688$1.68M0.9%+7,688New–
CLOVClover Health Investments, Corp.COM CL A209,600$1.55M0.8%+193,000+1,162.7%AddedHistory
LCIDLucid Group, Inc.COM57,500$1.46M0.8%+57,500NewHistory
UISUnisys CorpCOM NEW56,526$1.42M0.8%+41,925+287.1%AddedHistory
RDNWRideNow Group, Inc.COM CL B33,177$1.29M0.7%+33,177NewHistory
SNCRSynchronoss Technologies IncCOM538,789$1.29M0.7%+50,000+10.2%AddedHistory
SMSISmith Micro Software, Inc.COM NEW181,900$880.0K0.5%−5,400−2.9%ReducedHistory
UFSDomtar CORPCOM NEW15,500$845.0K0.4%+15,500NewHistory
FIEEFiEE, Inc.COM427,382$795.0K0.4%+427,382NewHistory
Vulcan Infrastructure & Power Inc.39531G100CLASS A COM25,841$660.0K0.3%+25,841New–
IMBILegacy IMBDS, Inc.COM CL A102,788$591.0K0.3%+2,788+2.8%AddedHistory
MXMagnachip Semiconductor CorpCOM30,500$542.0K0.3%−4,400−12.6%ReducedHistory
GCM Grosvenor Inc.36831E116*W EXP 11/17/202257,966$513.0K0.3%−14,182−5.2%Reduced–
Evo Acquisition Corp30052G207UNIT 99/99/999947,600$474.0K0.3%00.0%Unchanged–
TELLTellurian Inc.COM120,498$471.0K0.2%+120,498NewHistory
AMDAdvanced Micro Devices IncStock4,430$456.0K0.2%+4,430NewHistory
AMCAMC Entertainment Holdings, Inc.CL A COM9,800$373.0K0.2%−5,900−37.6%ReducedHistory
SIRESisecam Resources LPCOM UNIT LTD22,416$356.0K0.2%00.0%UnchangedHistory
23ANDME Holding Co90138Q116*W EXP 06/16/202184,800$340.0K0.2%−74,618−28.8%Reduced–
Perella Weinberg Partners71367G110*W EXP 12/31/202100,000$316.0K0.2%−1,143−1.1%Reduced–
LFMDLifeMD, Inc.COM40,000$248.0K0.1%+40,000NewHistory
KDMNKadmon Holdings, Inc.COM28,401$247.0K0.1%+28,401NewHistory
Growth Cap Acquisition Corp39986V107CL A23,875$236.0K0.1%00.0%Unchanged–
BFIIWBurgerFi International, Inc.*W EXP 12/16/202142,151$227.0K0.1%−7,030−4.7%ReducedHistory
CHNGChange Healthcare Inc.COM10,500$220.0K0.1%+1,500+16.7%AddedHistory
LMF Acquisition Opportunit I502015100CL A COM20,072$202.0K0.1%00.0%Unchanged–
Lightning Emotor53228T119EQUITY WRT125,000$201.0K0.1%+17,445+16.2%Added–
AvePoint, Inc.053604112EQUITY WRT93,400$183.0K0.1%+93,400New–
FAST Acquisition Corp.311875116*W EXP 08/25/20230,000$179.0K0.1%00.0%Unchanged–
MSTRStrategy IncStock300$174.0K0.1%+300NewHistory
BBIGVinco Ventures, Inc.COM26,200$168.0K0.1%+26,200NewHistory
indie Semiconductor, Inc.45569U119*W EXP 06/15/20245,200$160.0K0.1%−36,900−44.9%Reduced–
Advent Technologies Holdng I00788A113*W EXP 02/03/202100,000$159.0K0.1%−176,266−63.8%Reduced–
ADEAAdeia Inc.COM8,344$157.0K0.1%00.0%UnchangedHistory
Celularity Inc151190113*W EXP 05/24/202133,442$153.0K0.1%+133,442New–
Quantum Fintech Acquistin Co74767A105COMMON STOCK13,800$136.0K0.1%00.0%Unchanged–
SOSSOS LtdSPNSORD ADS NEW61,037$130.0K0.1%−30,000−33.0%ReducedHistory
AerSale Corp00810F114*W EXP 12/22/20220,000$123.0K0.1%00.0%Unchanged–
Growth Cap Acquisition Corp39986V115*W EXP 06/01/202121,349$123.0K0.1%−36,500−23.1%Reduced–
Clever Leaves Holdings Inc.186760112*W EXP 12/18/202107,150$120.0K0.1%−316,511−74.7%Reduced–
Faraday Future I307359117EQUITY WRT71,000$120.0K0.1%+71,000New–
FLNAFilana Therapeutics, Inc.COM1,900$118.0K0.1%+1,900NewHistory
Roman DBDR Tech Acquisition77584N119*W EXP 10/31/20272,450$117.0K0.1%−22,700−23.9%Reduced–
BODYWBeachbody Company, Inc.*W EXP 12/31/20293,000$111.0K0.1%+61,896+199.0%AddedHistory
FRTAForterra, Inc.COM4,500$106.0K0.1%00.0%UnchangedHistory
FINSAngel Oak Financial Strategies Income Term TrustCOM BEN INT6,161$105.0K0.1%00.0%UnchangedHistory
GOTUGaotu Techedu Inc.SPONSORED ADS34,300$105.0K0.1%−6,800−16.5%ReducedHistory
BM Technologies, Inc.05591L115*W EXP 01/04/20270,000$104.0K0.1%+5,000+7.7%Added–
CHW Acquisition CorporationG2254A117UNIT 03/01/202810,109$103.0K0.1%+10,109New–
Stryve Foods, Inc.863685111*W EXP 07/31/202131,000$102.0K0.1%+131,000New–
Verde Clean Fuels, Inc.15130M201UNIT 02/04/202610,000$101.0K0.1%+10,000New–
Edify Acquisition Corp.28059Q202UNIT 11/25/20259,742$97.0K0.1%00.0%Unchanged–
AJRDAerojet Rocketdyne Holdings, Inc.COM2,200$96.0K0.1%00.0%UnchangedHistory
Sharecare, Inc.81948W112EQUITY WRT46,100$92.0K<0.1%+46,100New–
Seaport Global Acquisitn Cor812227114*W EXP 12/15/20292,164$87.0K<0.1%+5,100+5.9%Added–
DISWalt Disney CoStock500$85.0K<0.1%00.0%UnchangedHistory
Archer Aviation Inc.03945R110*W EXP 09/16/20253,507$85.0K<0.1%+53,507New–
LMF Acquisition Opportunit I502015118*W EXP 01/26/202181,921$84.0K<0.1%−10,804−5.6%Reduced–
Zanite Acquisition Corp98907K111*W EXP 10/08/20297,052$82.0K<0.1%00.0%Unchanged–
Ouster, Inc.68989M111*W EXP 03/11/20250,400$80.0K<0.1%−123,764−71.1%Reduced–
Trident Acquisitions Corp89615T114*W EXP 05/09/20235,000$71.0K<0.1%00.0%Unchanged–
Moneylion Inc.60938K114*W EXP 09/22/20273,300$71.0K<0.1%+73,300New–
DBAInvesco DB Agriculture FundAGRICULTURE FD3,500$67.0K<0.1%00.0%UnchangedHistory
UWM Holdings Corp91823B117*W EXP 01/21/20267,600$66.0K<0.1%00.0%Unchanged–
CPCanadian Pacific Kansas City LtdCOM1,000$65.0K<0.1%+1,000NewHistory
TMC the metals Co Inc.87261Y114*W EXP 09/09/20265,492$63.0K<0.1%+65,492New–
EOSEWEos Energy Enterprises, Inc.*W EXP 05/06/20212,317$62.0K<0.1%−9,114−42.5%ReducedHistory
Foresight Acquisition Corp34552Y205UNIT 01/29/20266,000$60.0K<0.1%00.0%Unchanged–
JAZZJazz Pharmaceuticals plcSHS USD430$56.0K<0.1%−1,000−69.9%ReducedHistory
Otonomo Technologies Ltd.M7571L111*W EXP 08/13/20269,749$56.0K<0.1%+69,749New–
GMEGameStop Corp.Stock300$53.0K<0.1%−4,700−94.0%ReducedHistory
Digital Media Solutions, Inc.25401G114*W EXP 07/15/20269,284$53.0K<0.1%00.0%Unchanged–
Fintech Acquisition Corp V31810Q115*W EXP 12/31/20225,000$52.0K<0.1%+2,350+10.4%Added–
Oxus Acquisition CorpG6859L113UNIT 99/99/99995,000$51.0K<0.1%+5,000New–
Bridgetown Holdings LtdG1355U121*W EXP 09/30/20240,700$50.0K<0.1%00.0%Unchanged–
Innoviz Technologies Ltd.M5R635116*W EXP 04/05/20230,000$49.0K<0.1%00.0%Unchanged–
GNWGenworth Financial IncCOM SHS11,900$45.0K<0.1%00.0%UnchangedHistory
Mcap Acquisition Corp55282T208UNIT 02/18/20304,400$45.0K<0.1%00.0%Unchanged–
View, Inc.92671V114*W EXP 03/08/20248,200$44.0K<0.1%−149,072−75.6%Reduced–
MMATMeta Materials Inc.COM7,400$43.0K<0.1%+2,100+39.6%AddedHistory
Big Cypress Acquisition Corp089115117*W EXP 07/25/20245,000$41.0K<0.1%00.0%Unchanged–
AEye, Inc.008183113*W EXP 09/30/20231,400$36.0K<0.1%+31,400New–

Options (40)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Equitec Proprietary Markets, LLC in Q3 2021
SecurityClassPutsCalls
STMPStamps.com IncCOM NEW$88.9M$71.2M
TSLATesla, Inc.Stock$42.9M$775.0K
KSUKansas City SouthernCOM NEW$32.0M$3.22M
SPYSPDR S&P 500 ETF TrustETF$14.7M$2.66M
XLRNAcceleron Pharma IncCOM$7.26M$5.66M
OXYOccidental Petroleum CorpStock–$12.3M
JAZZJazz Pharmaceuticals plcSHS USD$9.75M–
GMEGameStop Corp.Stock–$8.42M
HRCHill-Rom Holdings, Inc.COM$1.46M$6.25M
ABBVAbbVie Inc.Stock$5.25M$852.0K
Qad Inc74727D306CL A$5.12M$437.0K
Coherent Inc192479103COM$5.00M–
NUANNuance Communications, Inc.COM$3.98M$11.0K
XLNXXilinx IncCOM$3.70M–
SAFMSanderson Farms IncCOM$3.29M–
VNEArriver Holdco, Inc.COM$2.90M$167.0K
AMDAdvanced Micro Devices IncStock$875.0K$1.96M
Trillium Therapeutics Inc.89620X506COM NEW$2.39M$88.0K
KRAKraton CorpCOM$46.0K$1.81M
INOVInovalon Holdings, Inc.COM CL A–$1.11M
UFSDomtar CORPCOM NEW$1.09M–
CPCanadian Pacific Kansas City LtdCOM$781.0K–
MXMagnachip Semiconductor CorpCOM$485.0K$158.0K
Vulcan Infrastructure & Power Inc.39531G100CLASS A COM$447.0K$46.0K
KDMNKadmon Holdings, Inc.COM$449.0K–
MMATMeta Materials Inc.COM$185.0K$238.0K
CHNGChange Healthcare Inc.COM$304.0K$10.0K
ARK Innovation ETF00214Q104ETF$122.0K–
FRTAForterra, Inc.COM$118.0K–
AJRDAerojet Rocketdyne Holdings, Inc.COM$113.0K–
CLOVClover Health Investments, Corp.COM CL A$103.0K–
CVACovanta Holding CorpCOM–$99.0K
GNWGenworth Financial IncCOM SHS$45.0K$14.0K
PGENPrecigen, Inc.COM–$57.0K
SPWHSportsman's Warehouse Holdings, Inc.COM$35.0K$18.0K
Triple-S Mgmt Corp896749108CL B$35.0K–
TCRTAlaunos Therapeutics, Inc.COM–$35.0K
WBTWelbilt, Inc.COM$28.0K–
PPDPPD, Inc.COM$9.00K$5.00K
CSODCornerstone OnDemand IncCOM$6.00K–

Sold out since Q2 2021 (79)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Equitec Proprietary Markets, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
African Gold Acquisition CorG0112R108SHS CL A1,287,209$12.4M8.8%–
GOOGLAlphabet Inc.Stock3,100$7.57M5.4%History
PFPTProofpoint IncCOM39,100$6.79M4.8%History
Churchill Capital Corp IV171439102CL A138,647$4.00M2.8%–
CNSTConstellation Pharmaceuticals IncCOM68,900$2.33M1.7%History
African Gold Acquisition CorG0112R124*W EXP 03/31/2022,335,402$1.47M1.0%–
Oceantech Acquisitions I Cor675507206UNIT 05/12/2026118,000$1.18M0.8%–
CMBTCmb.tech NVSHS123,264$1.15M0.8%History
Property Solutions Acquisiti74348Q116*W EXP 03/20/202227,514$910.0K0.6%–
Apex Technology Acquisition03768F110*W EXP 09/18/202223,841$761.0K0.5%–
SYKESykes Enterprises IncCOM13,600$730.0K0.5%History
Fly Leasing Ltd34407D109SPONSORED ADR38,800$657.0K0.5%–
Fusion Acquisition Corp36118H113*W EXP 06/01/202429,481$601.0K0.4%–
Osiris Acquisition Corp.68829A202UNIT 99/99/999959,860$594.0K0.4%–
CNICanadian National Railway CoStock5,100$538.0K0.4%History
HOMEAt Home Group Inc.COM9,600$354.0K0.3%History
COINCoinbase Global, Inc.COM CL A1,332$337.0K0.2%History
Reinvent Technology PartnersG7483N103*W EXP 09/16/202151,715$297.0K0.2%–
Sustainable Opportnts Acq CoG8598Y117*W EXP 99/99/999121,254$175.0K0.1%–
Andina Acquisition Corp IIIG04415124*W EXP 07/31/202125,000$156.0K0.1%–
Gores Holdings VI Inc38286R113*W EXP 08/24/20225,900$155.0K0.1%–
Electric Last Mile Solutns I28489L112*W EXP 08/24/20264,534$146.0K0.1%–
Blade Air Mobili092667112COM51,695$142.0K0.1%–
African Gold Acquisition CorG0112R116UNIT 99/99/999913,483$136.0K0.1%–
Canoo Inc.13803R110*W EXP 12/21/20244,600$133.0K0.1%–
RIOTRiot Platforms, Inc.COM3,500$132.0K0.1%History
Paysafe LtdG6964L115*W EXP 08/11/20235,000$125.0K0.1%–
CANOCano Health, Inc.COM CL A10,000$121.0K0.1%History
The Original Bark Company68622E112*W EXP 05/01/20233,543$117.0K0.1%–
Software Acquisitn Grup Inc83407F119*W EXP 09/17/20269,749$114.0K0.1%–
NAVNavistar International CorpCOM2,300$102.0K0.1%History
ALITAlight, Inc. / DelawareCOM CL A10,200$100.0K0.1%History
MEHCQChrome Holding Co.CLASS A COM8,500$99.0K0.1%History
Falcon Capital Acquisitn Cor30606L116*W EXP 08/20/20251,100$91.0K0.1%–
Peridot Acquisition Corp.G7008A107*W EXP 11/30/20232,500$88.0K0.1%–
GX Acquisition Corp36251A115*W EXP 05/24/20260,000$82.0K0.1%–
Software Acquisitn Grup Inc83407F101COM CL A6,900$69.0K<0.1%–
Atlas Crest Invt Corp049284110*W EXP 01/30/20233,507$52.0K<0.1%–
Sandbridge Acquisition Corp799793112*W EXP 09/14/20236,600$51.0K<0.1%–
CF Fin Acquisition Corp III12529D116*W EXP 09/30/20230,000$48.0K<0.1%–
10X Capital Venture Acqu Cor88025V115*W EXP 10/29/20225,594$45.0K<0.1%–
FG New Amer Acquisition Corp30259V114*W EXP 08/31/20220,000$44.0K<0.1%–
Landcadia Holdings III Inc51476H118*W EXP 10/01/20215,000$41.0K<0.1%–
Ace Convergence Acqu CorpG0083D104*W EXP 09/30/20220,000$40.0K<0.1%–
PLUGPlug Power IncStock1,100$38.0K<0.1%History
Lionheart Acquisition Corp I53625R112*W EXP 02/14/20240,000$38.0K<0.1%–
Finance of America Compan31738L115*W EXP 04/08/20228,622$38.0K<0.1%–
Star Peak Corp II855179206UNIT 99/99/99993,571$37.0K<0.1%–
PSFEPaysafe LtdORD3,000$36.0K<0.1%History
DOYUDouYu International Holdings LtdSPONSORED ADS5,100$35.0K<0.1%History
ATI Physical Therapy, Inc.00216W117*W EXP 08/10/20215,300$35.0K<0.1%–
Empower LtdG3R39W110*W EXP 11/30/20218,340$34.0K<0.1%–
UPHLUpHealth, Inc.COM5,000$34.0K<0.1%History
Bowx Acquisition Corp103085114*W EXP 08/03/20210,000$33.0K<0.1%–
Greenvision Acquisition Corp39678G111*W EXP 10/28/20235,000$32.0K<0.1%–
TCRTAlaunos Therapeutics, Inc.COM12,028$32.0K<0.1%History
Falcon Capital Acquisitn Cor30606L108COM CL A3,100$29.0K<0.1%–
LGL Sys Acquisition Corp50201G114*W EXP 11/12/20215,000$27.0K<0.1%–
Kismet Acquisition One CorpG52753111*W EXP 99/99/99920,000$24.0K<0.1%–
Payoneer Global Inc.70451X112*W EXP 06/25/20210,000$24.0K<0.1%–
Blue WTR Acquisition Corp09607T112*W EXP 08/31/20230,000$23.0K<0.1%–
FRGFranchise Group, Inc.COM600$21.0K<0.1%History
Roman DBDR Tech Acquisition77584N101COM CL A2,100$21.0K<0.1%–
AEA-Bridges Impact Corp.G01046112*W EXP 09/19/20220,000$19.0K<0.1%–
Proterra Inc74374T117*W EXP 09/22/2022,826$16.0K<0.1%–
ARK Innovation ETF00214Q104ETF100$13.0K<0.1%–
Spartan Acquisition Corp II846775112*W EXP 11/28/2026,400$12.0K<0.1%–
Reinvent Technology PartnersG74847115*W EXP 09/16/2026,000$11.0K<0.1%–
SONMDNA X, Inc.COM15,300$9.00K<0.1%History
Tuscan Hldgs Corp90069K112*W EXP 04/01/2022,100$9.00K<0.1%–
Eucrates Biomedical Acqu CorG3141W122*W EXP 10/23/2028,716$9.00K<0.1%–
Ajax IG0190X126*W EXP 10/27/2024,000$7.00K<0.1%–
NKSHNational Bankshares IncCOM173$6.00K<0.1%History
Rotor Acquisition Corp77879W113*W EXP 06/15/2024,000$5.00K<0.1%–
Aldel Financial Inc01407X112*W EXP 99/99/9995,000$5.00K<0.1%–
Legato Merger Corp.52473X114*W EXP 12/31/2022,100$4.00K<0.1%–
TWC Tech Hldgs II Corp90117G113*W EXP 09/15/2022,000$3.00K<0.1%–
Churchill Capital Corp V17144T115*W EXP 10/29/2021,000$2.00K<0.1%–
ISBCInvestors Bancorp, Inc.COM1$00.0%History